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Comments on Interpretive Rule:
Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934

[Release No. 34-52635; File No. S7-09-05]


Jun. 21, 2006 Memorandum from the Division of Market Regulation regarding a June 6, 2006 meeting with representatives of Sanford C. Bernstein
Jun. 8, 2006 Memorandum from the Office of Commissioner Atkins regarding a June 5, 2006 meeting with representatives from Merrill Lynch
Jun. 7, 2006 Charles E. Schumer, United States Senator, and John E. Sununu, United States Senator
Jun. 2, 2006 Lee A. Pickard, Esq. and William D. Edick, Esq. Pickard and Djinis LLP, Counsel to The Alliance In Support Of Independent Research
May 31, 2006 Thomas A. Renyi, Chairman and Chief Executive Officer, The Bank of New York
May 2, 2006 Memorandum from the Division of Market Regulation regarding a May 1, 2006 meeting between members of the Division of Market Regulation and John Meserve of Westminster Research Associates, a BNY Securities Group Company
May 2, 2006 Memorandum from the Division of Market Regulation regarding an April 5, 2006 meeting between members of the Division of Market Regulation and members of the Alliance in Support of Independent Research
Apr. 27, 2006 Memorandum from the Division of Market Regulation regarding an April 27, 2006 meeting with representatives from Merrill Lynch & Co.
Apr. 21, 2006 Thomas N. McManus, Managing Director and Counsel, Morgan Stanley, New York, New York
Apr. 17, 2006 Peter E. Bulger, Chief Operating Officer, C.L. King & Associates, Inc., Albany, New York
Apr. 10, 2006 Memorandum from the Office of the Chairman regarding an April 5, 2006 meeting with representatives of the Alliance in Support of Independent Research.
Apr. 4, 2006 William T. George, Blue Sky Research Services, Encino, California
Mar. 28, 2006 David W. Miller, Vice-President and Assistant General Counsel, J.P. Morgan Securities Inc.
Mar. 23, 2006 Steve Goswell, Chair; Genevy Dimitrion, Vice Chair; Gary Probert, Vice Chair; ISITC (North America)
Mar. 13, 2006 Ann L. Combs, Assistant Secretary, Employee Benefits Security Administration, U.S. Department of Labor
Mar. 8, 2006 Neil Radey, Managing Director and General Counsel Americas, Credit Suisse Securities (USA) LLC, New York, New York
Mar. 6, 2006 Memorandum from the Division of Market Regulation regarding a March 2, 2006 meeting with representatives from JP Morgan Securities Inc.
Jan. 31, 2006 Memorandum from the Division of Market Regulation regarding a January 17, 2006 meeting with representatives from Goldman Sachs & Co.
Jan. 31, 2006 Memorandum from the Division of Market Regulation regarding a January 6, 2006 meeting with representatives from the Bank of New York, Morgan Lewis & Bockius LLP, ING Investment Management, and Mayer, Brown, Rowe & Maw LLP
Jan. 19, 2006 Memorandum from the Division of Market Regulation regarding a November 22, 2005 meeting with representatives from Instinet, LLC, and Kirkpatrick & Lockhart Nicholson Graham LLP
Jan. 19, 2006 Memorandum from the Division of Market Regulation regarding a January 6, 2006 meeting with representatives of The Bank of New York
Jan. 19, 2006 Memorandum from the Division of Market Regulation regarding a December 19, 2005 meeting with representatives of the Investment Adviser Association and T. Rowe Price
Jan. 18, 2006 Phillip K. Lynch, Chief Executive Officer, Reuters America LLC
Dec. 28, 2005 Tamar Frankel, Professor of Law, Boston University
Dec. 28, 2005 Julian Rainero, Bingham McCutchen LLP, on behalf of Frank Russell Securities, Inc.
Dec. 22, 2005 Eric D. Roiter, Senior Vice President and General Counsel, Fidelity Management & Research Company
Dec. 19, 2005 Vandham Securities Corp.
Dec. 13, 2005 Dixie L. Johnson, Committee on Federal Regulation of Securities, Business Law Section, American Bar Association
Dec. 09, 2005 Jeffrey T. Letzler, Deputy General Counsel, Instinet, LLC, New York, New York
Dec. 08, 2005 Heidi Stam, General Counsel, The Vanguard Group, Inc., Valley Forge, Pennsylvania
Dec. 06, 2005 Christopher Buck, Executive Director, UBS Securities LLC, Stamford, Connecticut
Dec. 06, 2005 Wayne B. McAlpine, President, Commission Direct Inc.
Dec. 05, 2005 John M. Connolly, President and CEO, International Shareholder Services Inc.
Dec. 01 2005 Ira D. Hammerman, Senior Vice President and General Counsel, Securities Industry Association
Dec. 01, 2005 Memorandum from the Division of Market Regulation regarding a November 29, 2005 meeting between members of the Division of Market Regulation and Jeffrey Brown and David Canter of Charles Schwab & Co., Inc.
Nov. 30, 2005 Carlos W. Morales, Senior Vice President and Associate General Counsel, Merrill Lynch & Co., Inc.
Nov. 29, 2005 Stuart Karle, General Counsel, the Wall Street Journal on behalf of Dow Jones & Company, Inc.
Nov. 28, 2005 Jams A Duncan, Chairman and John C. Giesea, President & CEO, Security Traders Association
Nov. 28, 2005 David W. Miller, Vice President and Assistant General Counsel, J.P. Morgan Securities Inc.
Nov. 28, 2005 Gary W. Findlay, Executive Director, Missouri State Employees Retirement System, Jefferson City, Missouri
Nov. 27, 2005 Thomas F. Lamprecht, Philadelphia, Pennsylvania
Nov. 25, 2005 Kurt N. Schacht, CFA, Executive Director, and Jonathan A. Boersma, CFA, Director, Standards of Practice, CFA Centre for Financial Market Integrity, CFA Institute
Nov. 25, 2005 Jack Curran, FinTech Securities, Atlanta, Georgia
Nov. 25, 2005 Allan S. Mostoff, President, Mutual Fund Directors Forum
Nov. 25, 2005 Justin T. Kane, Director of Equity Trading, and Mark H. Dawson, CFA, Principal, Rainier Investment Management, Inc.
Nov. 25, 2005 Henry H. Hopkins, Vice President and Chief Legal Counsel; and David Oestreicher, Vice President and Associate Legal Counsel, T. Rowe Price Associates, Inc.
Nov. 25, 2005 Deborah Doyle McWhinney, President, Charles Schwab & Co., Inc.
Nov. 25, 2005 Paul Schott Stevens, President, Investment Company Institute
Nov. 25, 2005 Alexandra Stocker, CEO, Sanderson & Stocker, Inc., Ithaca, New York
Nov. 25, 2005 Thomas G. Shugrue, President, Carolina Capital Markets, Inc., Chapel Hill, North Carolina
Nov. 25, 2005 Saul P. Sarrett, Director, Deputy General Counsel, ITG Inc., New York, New York
Nov. 25, 2005 Joseph M. Velli, Senior Executive Vice President, BNY Securities Group on behalf of The Bank of New York Company, Inc.
Nov. 25, 2005 Ken Hight, Executive Vice President, E*TRADE Financial Corporation
Nov. 24, 2005 Gordon Midgley, Director of Research, IMA, London, England
Nov. 24, 2005 John Kay, Chairman and Hans Plugge, Director, European Association of Independent Research Providers
Nov. 23, 2005 Monique S. Botkin, Counsel, Investment Adviser Association
Nov. 23, 2005 Thomas G. Shugrue, President, Carolina Capital Markets, Inc., Chapel Hill, North Carolina
Nov. 23, 2005 James H. Bodurtha, Chairman, Independent Directors Council
Nov. 23, 2005 Kristi P. Wetherington, President, Capital Institutional Services, Inc., Dallas, Texas
Nov. 23, 2005 John G. Gaine, President, Managed Funds Association
Nov. 23, 2005 Lee A. Pickard, Esq., The Alliance In Support Of Independent Research, Washington, DC, District of Columbia
Nov. 23, 2005 Seward & Kissel LLP
Nov. 23, 2005 Sarah A. Miller, Director Center for Securities, Trust and Investments, American Bankers Association
Nov. 23, 2005 Barbara Roper, Director of Investor Protection, Consumer Federation of America; Mercer Bullard, President and Founder, Fund Democracy
Nov. 23, 2005 Barry P. Harris, IV, Ward and Smith, P.A, on behalf of First-Citizens Bank & Trust Company
Nov. 23, 2005 Grady G. Thomas, Jr., President, The Interstate Group, Division of Morgan Keegan & Company, Inc., Charlotte, North Carolina
Nov. 22, 2005 Joan Hinchman, Executive Director, President and CEO, National Society of Compliance Professionals
Nov. 22, 2005 David Quinlan, President, Eze Castle Software, Inc., Boston, Massachusetts
Nov. 22, 2005 Christiana Wood, CFA, Senior Investment Officer - CalPERS
Nov. 22, 2005 Charlotte Roederer, Esquire, Attorney in Private Practice, Amherst, New York
Nov. 21, 2005 Michael E. Bleier, General Counsel, Mellon Financial Corporation, Pittsburgh, Pennsylvania
Nov. 21, 2005 Kim Bang, Bloomberg L.P.
Nov. 18, 2005 Bruce R. Bent, Chairman, The Reserve Funds, New York, New York
Nov. 17, 2005 John Eade, et al., Investorside Research Association
Nov. 17, 2005 Michael Donovan L Donovan, Registered Representative, Syracuse, New York
Nov. 16, 2005 Gavin Anderson, President and CEO, GovernanceMetrics International
Nov. 16, 2005 Rita G. Dew, CRCP, Founder and President, National Compliance Services, Inc., Delray Beach, Florida
Nov. 15, 2005 John W. Adams, Chairman, Adams Harkness
Nov. 15, 2005 Emmett M. Murphy
Nov. 10, 2005 Craig Slaughter, Executive Director, West Virginia Investment Management Board
Nov. 09, 2005 Memorandum from the Division of Market Regulation regarding a November 3, 2005 telephonic meeting between members of the Division of Market Regulation and Michael R. Butowsky of Mayer, Brown, Rowe & Maw LLP, dated November 9, 2005
Nov. 09, 2005 David Riedel, Founder, Riedel Research Group, New York, New York
Nov. 08, 2005 Stephen L. Schardin, Managing Director - President Charles RIver Brokerage, LLC, Burlington, Massachusetts
Nov. 02, 2005 Neal J. Dean, Investor, Elk Grove Village, Illinois
Oct. 28, 2005 Bill George, Blue Sky Research Services, Encino , California
Oct. 26, 2005 Junius W. Peake, Monfort Distinguished Professor of Finance, Kenneth W. Monfort College of Business, University of Northern Colorado
Oct. 25, 2005 Bernard Notas
Oct. 21, 2005 Keith L. Shadrick, President, Axia Advisory Corporation, Indianapolis, Indiana
Oct. 21, 2005 Junius W. Peake, Monfort Distinguished Professor of Finance, Kenneth W. Monfort College of Business, University of Northern Colorado
Oct. 20, 2005 William T. George, Blue Sky Research Services, Encino, California

http://www.sec.gov/rules/interp/s70905.shtml


Modified: 10/16/2014